SORN-DHS Claims Records

Federal Register / Vol. 73, No. 209 / Tuesday, October 28, 2008 / Notices
individuals associated with the grant
applications, the disclosure of which
would constitute a clearly unwarranted
invasion of personal privacy.
Name of Committee: National Institute of
Mental Health Special Emphasis Panel; Child
Center Review.
Date: November 21, 2008.
Time: 8 a.m. to 5 p.m.
Agenda: To review and evaluate grant
applications.
Place: Doubletree Hotel & Executive
Meeting Center, 8120 Wisconsin Ave.,
Bethesda, MD 20814.
Contact Person: Henry J Haigler, PhD,
Scientific Review Administrator, Division of
Extramural Activities, National Institute of
Mental Health, NIH, Neuroscience Center,
6001 Executive Blvd., Rm. 6150, MSC 9608,
Bethesda, MD 20892–9608, 301/443–7216,
[email protected].
(Catalogue of Federal Domestic Assistance
Program Nos. 93.242, Mental Health Research
Grants; 93.281, Scientist Development
Award, Scientist Development Award for
Clinicians, and Research Scientist Award;
93.282, Mental Health National Research
Service Awards for Research Training,
National Institutes of Health, HHS)
Dated: October 21, 2008.
Jennifer Spaeth,
Director, Office of Federal Advisory
Committee Policy.
[FR Doc. E8–25729 Filed 10–27–08; 8:45 am]
BILLING CODE 4140–01–P

DEPARTMENT OF HOMELAND
SECURITY
Office of the Secretary
[Docket No. DHS–2008–0013]

Privacy Act of 1974; Department of
Homeland Security Claims Records;
System of Records
Privacy Office; DHS.
Notice of Privacy Act system of

AGENCY:
ACTION:

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records.
SUMMARY: In accordance with the
Privacy Act of 1974 and as part of the
Department of Homeland Security’s
ongoing effort to review and update
legacy system of record notices, the
Department of Homeland Security
proposes to consolidate nine legacy
record systems: DOT/CG 508 Claims
and Litigation, Treasury/CS.045 Claims
Act File, Treasury/CS.046 Claims Case
File, Treasury/CS.144 Mail Protest File,
Treasury/CS.148 Military Personnel and
Civilian Employees’ Claims Act File,
Treasury/CS.232 Tort Claims Act File,
Treasury/CS.234 Tort Claims Act File,
Treasury/CS.268 Military Personnel and
Civilian Employees’ Claim Act File, and
FEMA/GC–1 Claims (litigation) into one
Department of Homeland Security-wide

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system of records. The Department of
Homeland Security also proposes to
partially consolidate one legacy record
system: Treasury/USSS.001
Administrative Information System,
August 28, 2001, into this Departmentwide system of records. This system
will allow the Department of Homeland
Security to respond to, and process,
claims submitted to, or by, the
Department of Homeland Security,
including requests for waivers of claims.
Categories of individuals, categories of
records, and the routine uses of these
legacy system of records notices have
been consolidated and updated to better
reflect the Department’s claims record
systems. Additionally, DHS is issuing a
Notice of Proposed Rulemaking (NPRM)
concurrent with this SORN elsewhere in
the Federal Register. The exemptions
for the legacy system of records notices
will continue to be applicable until the
final rule for this SORN has been
completed. This consolidated system,
titled Claims Records, will be included
in the Department’s inventory of record
systems.
DATES: Submit comments on or before
November 28, 2008.
ADDRESSES: You may submit comments,
identified by docket number DHS–
2008–0013 by one of the following
methods:
• Federal e-Rulemaking Portal:
http://www.regulations.gov. Follow the
instructions for submitting comments.
• Fax: 1–866–466–5370.
• Mail: Hugo Teufel III, Chief Privacy
Officer, Privacy Office, Department of
Homeland Security, Washington, DC
20528.
• Instructions: All submissions
received must include the agency name
and docket number for this rulemaking.
All comments received will be posted
without change to http://
www.regulations.gov, including any
personal information provided.
• Docket: For access to the docket to
read background documents or
comments received go to http://
www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: For
general questions and privacy issues
please contact: Hugo Teufel III (703–
235–0780), Chief Privacy Officer,
Privacy Office, Department of Homeland
Security, Washington, DC 20528.
SUPPLEMENTARY INFORMATION:
I. Background
Pursuant to the savings clause in the
Homeland Security Act of 2002, Public
Law 107–296, Section 1512, 116 Stat.
2310 (November 25, 2002), the
Department of Homeland Security
(DHS) and its components and offices

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have relied on preexisting Privacy Act
systems of records notices for the
collection and maintenance of records
that concern claims submitted to DHS.
As part of its efforts to streamline and
consolidate its Privacy Act records
systems, DHS is establishing a new
agency-wide system of records under
the Privacy Act (5 U.S.C. 552a) for DHS
claims records. This will ensure that all
components of DHS follow the same
privacy rules for collecting and
maintaining records on claims. DHS
will use this system to collect and
maintain claims submitted to it by DHS
personnel and others.
In accordance with the Privacy Act of
1974 and as part of DHS’s ongoing effort
to review and update legacy system of
record notices, DHS proposes to
consolidate nine legacy record systems:
DOT/CG 508 Claims and Litigation (65
FR 19475 April 11, 2000), Treasury/
CS.045 Claims Act File (66 FR 52984
October 18, 2001), Treasury/CS.046
Claims Case File (66 FR 52984 October
18, 2001), Treasury/CS.144 Mail Protest
File (66 FR 52984 October 18, 2001),
Treasury/CS.148 Military Personnel and
Civilian Employees’ Claims Act File (66
FR 52984 October 18, 2001), Treasury/
CS.232 Tort Claims Act File (66 FR
52984 October 18, 2001), Treasury/
CS.234 Tort Claims Act File (66 FR
52984 October 18, 2001), Treasury/
CS.268 Military Personnel and Civilian
Employees’ Claim Act File (66 FR 52984
October 18, 2001), and FEMA/GC–1,
Claims (litigation) (66 FR 47228
September 11, 2001) into one DHS-wide
system of records. DHS also proposes to
partially consolidate one legacy record
system: Treasury/USSS.001
Administrative Information System (66
FR 45362 August 28, 2001) into this
Department-wide system of records.
This system will allow DHS to respond
to, and process, claims submitted to, or
by, DHS, including requests for waivers
of claims. Categories of individuals,
categories of records, and the routine
uses of these legacy system of records
notices have been consolidated and
updated to better reflect DHS’s claims
record systems. Additionally, DHS is
issuing a Notice of Proposed
Rulemaking (NPRM) concurrent with
this SORN elsewhere in the Federal
Register. The exemptions for the legacy
system of records notices will continue
to be applicable until the final rule for
this SORN has been completed. This
consolidated system of records, titled
Claims Records, will be included in
DHS’s inventory of record systems.
II. Privacy Act
The Privacy Act embodies fair
information principles in a statutory

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Federal Register / Vol. 73, No. 209 / Tuesday, October 28, 2008 / Notices

framework governing the means by
which the United States Government
collects, maintains, uses, and
disseminates individuals’ records. The
Privacy Act applies to information that
is maintained in a ‘‘system of records.’’
A ‘‘system of records’’ is a group of any
records under the control of an agency
for which information is retrieved by
the name of an individual or by some
identifying number, symbol, or other
identifying particular assigned to the
individual. In the Privacy Act, an
individual is defined to encompass
United States citizens and legal
permanent residents. As a matter of
policy, DHS extends administrative
Privacy Act protections to all
individuals where systems of records
maintain information on U.S. citizens,
lawful permanent residents, visitors,
and foreign nationals who are employed
by the United States Government.
Individuals may request access to their
own records that are maintained in a
system of records in the possession or
under the control of DHS by complying
with DHS Privacy Act regulations, 6
CFR Part 5.
The Privacy Act requires that each
agency publish in the Federal Register
a description denoting the type and
character of each system of records in
order to make agency recordkeeping
practices transparent, to notify
individuals about the use of their
records, and to assist the individual to
more easily find files within the agency.
Below is a description of the Claims
Records System of Records.
In accordance with 5 U.S.C. 552a(r),
DHS has provided a report of this
revised system of records to the Office
of Management and Budget and to the
Congress.
SYSTEM OF RECORDS: DHS/ALL–013
SYSTEM NAME:

Department of Homeland Security
Claims Records.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Records are maintained at several
Headquarters locations and in
component offices of DHS, in both
Washington, DC and field locations.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Any individual or entity who submits
a claim to DHS and/or its components
or against whom DHS files a claim.
CATEGORIES OF RECORDS IN THE SYSTEM:

Categories of records in this system
include:

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• Individual’s or entity’s name;
• Social security number;
• Entity’s corporate tax identification
number;
• Addresses;
• Telephone numbers;
• Description of the claim;
• Status of the claim;
• Banking account and routing
number;
• Correspondence between the
claimant or claimant’s representative
and DHS;
• Witness statements;
• Photos;
• Documents submitted by the
claimant or claimant’s representative in
support of the claim; and
• Documents relating to the
administrative handling of the claim.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; The Federal Records
Act, 44 U.S.C. 3101; The Homeland
Security Act of 2002, Public Law 107–
296; 6 U.S.C. 121; 28 U.S.C. 2671–2680;
Federal Tort Claims Act; and Executive
Order 9397.
PURPOSE(S):

The purpose of this system is to
respond to and process claims
submitted to, or by, DHS, including
requests for waivers of claims.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside DHS as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as
follows:
A. To the Department of Justice
(including United States Attorney
Offices) or other Federal agency
conducting litigation or in proceedings
before any court, adjudicative or
administrative body when it is
necessary to the litigation and one of the
following is a party to the litigation or
has an interest in such litigation:
1. DHS or any component thereof;
2. Any employee of DHS in his/her
official capacity;
3. Any employee of DHS in his/her
individual capacity where the
Department of Justice or DHS has agreed
to represent the employee; or
4. The United States or any agency
thereof, is a party to the litigation or has
an interest in such litigation, and DHS
determines that the records are both
relevant and necessary to the litigation
and the use of such records is
compatible with the purpose for which
DHS collected the records.

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B. To a congressional office from the
record of an individual in response to
an inquiry from that congressional office
made at the request of the individual to
whom the record pertains.
C. To the National Archives and
Records Administration or other Federal
government agencies pursuant to
records management inspections being
conducted under the authority of 44
U.S.C. 2904 and 2906.
D. To an agency, organization, or
individual for the purpose of performing
audit or oversight operations as
authorized by law, but only such
information as is necessary and relevant
to such audit or oversight function.
E. To appropriate agencies, entities,
and persons when:
1. DHS suspects or has confirmed that
the security or confidentiality of
information in the system of records has
been compromised;
2. The Department has determined
that as a result of the suspected or
confirmed compromise there is a risk of
harm to economic or property interests,
identity theft or fraud, or harm to the
security or integrity of this system or
other systems or programs (whether
maintained by DHS or another agency or
entity) or harm to the individual who
relies upon the compromised
information; and
3. The disclosure made to such
agencies, entities, and persons is
reasonably necessary to assist in
connection with DHS’s efforts to
respond to the suspected or confirmed
compromise and prevent, minimize, or
remedy such harm.
F. To contractors and their agents,
grantees, experts, consultants, and
others performing or working on a
contract, service, grant, cooperative
agreement, or other assignment for DHS,
when necessary to accomplish an
agency function related to this system of
records. Individuals provided
information under this routine use are
subject to the same Privacy Act
requirements and limitations on
disclosure as are applicable to DHS
officers and employees.
G. To an appropriate Federal, State,
tribal, local, international, or foreign law
enforcement agency or other appropriate
authority charged with investigating or
prosecuting a violation or enforcing or
implementing a law, rule, regulation, or
order, where a record, either on its face
or in conjunction with other
information, indicates a violation or
potential violation of law, which
includes criminal, civil, or regulatory
violations and such disclosure is proper
and consistent with the official duties of
the person making the disclosure.

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Federal Register / Vol. 73, No. 209 / Tuesday, October 28, 2008 / Notices
H. To a court, magistrate, or
administrative tribunal in the course of
presenting evidence, including
disclosures to opposing counsel or
witnesses in the course of civil
discovery, litigation, or settlement
negotiations or in connection with
criminal law proceedings or in response
to a subpoena from a court of competent
jurisdiction.
I. To appropriate Federal, state, local,
tribal, or foreign governmental agencies
or multilateral governmental
organizations for the purpose of
protecting the vital interests of a data
subject or other persons, including to
assist such agencies or organizations in
preventing exposure to or transmission
of a communicable disease or to combat
other significant public health threats;
appropriate notice will be provided of
any identified health threat or risk.
J. To another Federal agency or third
party, including insurance companies or
worker’s compensation carriers, when
the claimant(s) may be covered for the
damage, loss or injury by insurance and/
or a third party is alleged to have or may
have, caused or contributed to the
damage, loss or injury of the claimant(s).
K. To foreign governments when the
claimant is a citizen of that foreign
nation or when the United States has an
agreement with that foreign country
which affects payment of the claim
L. To the news media and the public,
with the approval of the Chief Privacy
Officer in consultation with counsel,
when there exists a legitimate public
interest in the disclosure of the
information or when disclosure is
necessary to preserve confidence in the
integrity of DHS or is necessary to
demonstrate the accountability of DHS’s
officers, employees, or individuals
covered by the system, except to the
extent it is determined that release of
the specific information in the context
of a particular case would constitute an
unwarranted invasion of personal
privacy.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

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STORAGE:

Records in this system are stored
electronically or on paper in secure
facilities in a locked drawer behind a
locked door. The records are stored on
magnetic disc, tape, digital media, and
CD–ROM.
RETRIEVABILITY:

Data may be retrieved by an
individual’s or entity’s name, Social

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Security number, corporate tax
identification number, address,
description and status of claim, and/or
other personal identifier.
SAFEGUARDS:

Records in this system are
safeguarded in accordance with
applicable rules and policies, including
all applicable DHS automated systems
security and access policies. Strict
controls have been imposed to minimize
the risk of compromising the
information that is being stored. Access
to the computer system containing the
records in this system is limited to those
individuals who have a need to know
the information for the performance of
their official duties and who have
appropriate clearances or permissions.
RETENTION AND DISPOSAL:

Records are destroyed after six years
and three months of claim settlement, in
accordance with National Archives and
Records Administration General
Records Schedule 6, Item 10. For claims
which the Government’s right to collect
was not extended, records are destroyed
ten years, three months after the year in
which the Government’s right to collect
first accrued, in accordance with
National Archives and Records
Administration General Records
Schedule 6, Item 10.
SYSTEM MANAGER AND ADDRESS:

For Headquarters components of DHS,
the System Manager is the Director of
Departmental Disclosure, Department of
Homeland Security, Washington, DC
20528. For components of DHS, the
System Manager can be found at
http://www.dhs.gov/foia under
‘‘contacts.’’
NOTIFICATION PROCEDURE:

Individuals seeking notification of
and access to any record contained in
this system of records, or seeking to
contest its content, may submit a
request in writing to the Headquarters’
or component’s FOIA Officer, whose
contact information can be found at
http://www.dhs.gov/foia under
‘‘contacts.’’ If an individual believes
more than one component maintains
Privacy Act records concerning him or
her the individual may submit the
request to the Chief Privacy Officer,
Department of Homeland Security, 245
Murray Drive, SW., Building 410,
STOP–0550, Washington, DC 20528.
When seeking records about yourself
from this system of records or any other
Departmental system of records your
request must conform with the Privacy
Act regulations set forth in 6 CFR Part
5. You must first verify your identity,

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meaning that you must provide your full
name, current address and date and
place of birth. You must sign your
request, and your signature must either
be notarized or submitted under 28
U.S.C. 1746, a law that permits
statements to be made under penalty of
perjury as a substitute for notarization.
While no specific form is required, you
may obtain forms for this purpose from
the Director, Disclosure and FOIA,
http://www.dhs.gov or 1–866–431–0486.
In addition you should provide the
following:
• An explanation of why you believe
the Department would have information
on you,
• Identify which component(s) of the
Department you believe may have the
information about you,
• Specify when you believe the
records would have been created,
• Provide any other information that
will help the FOIA staff determine
which DHS component agency may
have responsive records,
• If your request is seeking records
pertaining to another living individual,
you must include a statement from that
individual certifying his/her agreement
for you to access his/her records.
Without this bulleted information the
component(s) may not be able to
conduct an effective search, and your
request may be denied due to lack of
specificity or lack of compliance with
applicable regulations.
RECORD ACCESS PROCEDURES:

See ‘‘Notification procedure’’ above.
CONTESTING RECORD PROCEDURES:

See ‘‘Notification procedure’’ above.
RECORD SOURCE CATEGORIES:

Information originates from
individuals and entities who submit
claims, responses to claims, or requests
for waiver of claims to DHS.
EXEMPTIONS CLAIMED FOR THE SYSTEM:

The Secretary of Homeland Security
has exempted this system from
subsections (c)(3) and (4); (d); (e)(1), (2),
(3), (5), and (8); and (g) of the Privacy
Act pursuant to 5 U.S.C.(j)(2). In
additional, the Secretary of Homeland
Security has exempted this system from
subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H), (I), and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(1), (2), and
(3).
Dated: October 15, 2008.
Hugo Teufel III,
Chief Privacy Officer, Department of
Homeland Security.
[FR Doc. E8–25612 Filed 10–27–08; 8:45 am]
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